BERT ALLEN COOPER is currently employed as a Broker and/or Investment Adviser at CROWN CAPITAL SECURITIES, L.P. located at 9125 W. THUNDERBIRD ROAD, SUITE 100, PEORIA, AZ, 85381.
BERT ALLEN COOPER has worked at CROWN CAPITAL SECURITIES, L.P. since August 28, 2017
Disclosure History
BERT ALLEN COOPER has 2 Disclosure Event(s).
Date: July 11, 2016 Category: Customer Dispute Allegations: Representative misrepresented the risks with certain Alternative Investments. Settlement Amount: $50,000.00
Date: November 18, 2004 Category: Customer Dispute Allegations: CLAIMNANTS ALLEGE THAT THEIR VARIABLE ANNUITY INVESTMENTS IN DECEMBER 2000 ARE NOW UNSUITABLE AND THEIR ACCOUNTS WERE MISMANAGED. THIS CLAIM WAS MADE AFTER THE ACCOUNTS SUFFERED MARKET LOSSES IN THE SUB ACCOUNTS DURING THE SIGNIFICANT MARKET DOWNTURN IN THE LAST 3 YEARS Damage Amount Requested: $75,981.00 Settlement Amount: $28,000.00 Broker Comment: THIS MATTER WAS SETTLED IN GOOD FAITH TO AVOID THE COST OF PROTRACTED LITIGATION AND WITHOUT ANY ADMISSION OF LIABILITY. THE CLAIMANTS' ATTORNEY SIGNED AN AFFIDAVIT ON DEC. 20,2 005 ADVISING THAT ALTHOUGH I WAS INITIALLY NAMED AS RESPONDENT IN THIS MATTER, IT WAS DISCOVERED THAT I HAD NO INVOLVEMENT IN THE CONDUCT THAT SERVED AS THE BASIS FOR THE ARBITRATION CLAIM. AS A RESULT, I AM SEEKING TO HAVE THIS MATTER EXPUNGED FROM MY RECORD.
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